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CONFLICT OF INTEREST

The California Political Reform Act of 1974 requires CSU, as an agency, to adopt and communicate Conflict of Interest (COI) codes. The Act contains a general prohibition against conflicts of interest. Conflict of Interest law seeks to minimize the extent to which public employees pursue their own financial interests at the expense of the public interest.

Under the Act, no CSU employee shall make, participate in making, or attempt to use his or her official position to influence a CSU decision in which he or she has a financial interest. University employees shall not vote, make recommendations, or in any way participate in personnel or financial decisions if such participation constitutes a conflict of interest.

The Office of Human Resources administers this Conflict of Interest process on behalf of CSU, Bakersfield. The current Statement of Economic Interests Forms and Instruction can be accessed below.

Forms and Instructions for 2018-19 Statement of Economic Interests(Form 700)

Late Fine Guidelines - Employees are personally subject to a $10 per day fine up to a maximum of $100 for the late filing of a Statement of Economic Interests Form 700 (Government Code Section 91013). In addition, the President/Chancellor may be notified of the late filers. Employees who fail to file a Form 700, fail to disclose material interests, or fail to complete online training may be subject to a personal penalty. Penalties include disciplinary action against the employee, as well as potential civil and criminal penalties. Violations of the Conflict of Interest Code are addressed in the Conflict of Interest Handbook, prepared by Office of General Counsel. This handbook is available at: OGC CSU Conflict of Interest Handbook.

In addition to the administration of the annual filing of Statement of Economic Interests forms by designated positions, the University is required to report Gifts and Tickets/Admissions to Events given to the agency.

Gifts to Agency Reporting

This form is for use by all state and local government agencies to disclose payments made to the agency when the payments provide a personal benefit to an official of the agency. Examples may include travel, meals or other benefits. Under certain circumstances, these payments will not result in a gift to the official, but will be considered a gift to the agency. The payments must be used for official agency business and must meet other requirements that are set out in FPPC Regulation 18944.2.

Form 801 is used to report certain payments received by state and local government agencies that are used for agency purposes and paid by a third party. FPPC Regulations 18944 and 18950.1 provide a procedure that agencies may use to disclose these payments, which may include a payment for an official’s travel expenses for the purpose of facilitating the public’s business in lieu of using agency funds; and a payment that would otherwise be considered a gift or income to the benefiting official, but is instead accepted on behalf of the agency.

Ceremonial Role Events and Ticket/Pass Distributions

This form is for use by all state and local government agencies to disclose the distribution of tickets or passes that allow admission to facilities, events, shows, or performances for entertainment, amusement, recreational, or similar purposes. The agency must complete Form 802 identifying agency officials who receive tickets or passes from the agency as well as other individuals and organizations that receive tickets or passes at the behest of agency officials. Further information regarding this reporting requirement are set in FPPC Regulation 18944.1.

FPPC Regulation 18944.1 sets out the circumstances under which an agency’s distribution of tickets to entertainment events, sporting events, and like occasions would not result in a gift to individuals that attend the function. In general, the agency must adopt a policy which identifies the public purpose served in distributing the admissions. The Form 802 serves to detail each event and the public purpose of each ticket distribution.

Principal Investigators

Title 2 regulations require Principal Investigators to file a form 700-U (Statement of Economic Interests for Principal Investigators) before the final acceptance of a contract, grant or gift for a research project from a non-governmental entity, and within 30 days of renewal of funding for such a contract or grant. For additional information regarding Principal Investigators’ filing requirements, refer to HR 2015-05. Principal Investigators must complete the on-line ethics training within six (6) months of receiving the grant. Subsequent training is required at least once within each two calendar year period that the grant is in place.

There is no COI “annual” filing requirement for Principal Investigators (PIs)

Conflict of Interest Handbook

In August 2009, the California State University Office of General Counsel issued a Conflict of Interest (COI) Handbook for CSU employees to provide guidance to employees in both designated and undesignated positions. The revised handbook can be accessed at OGC CSU Conflict of Interest Handbook.

ProCard Approving Administrators

All approvers of ProCard charges will be considered the authority to make discretionary purchasing decisions. Therefore, these administrators will be identified as a designated employee required to file a COI form 700 within 30 days of the appointment date, as well as take an online Ethics/COI Training course within 6 months of their appointment date and every two years thereafter.

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Filing Procedures

Newly Appointed: Employees appointed into a designated position must file a Statement of Economic Interests Form 700 within 30 days of the appointment date, as well as take an online Ethics/COI Training course within 6 months of their appointment date and every two years thereafter. This is web based training and may be taken from any computer with Internet access.

Annual Filing: Employees in a designated position must file an annual Statement of Economic Interests Form 700 by approximately April 1st of each year.

Leaving Office: When an employee leaves their designated position they must file a Statement of Economic Interests Form 700 within 30 days of leaving office.

FPPC has created a gift tracking app for mobile devices that helps filers track gifts and provides a quick and easy way to upload the information to the Form 700. Visit FPPC’s website to download the app.